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~isPartOf:"The journal of investment compliance"
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Nathan, Daniel A.
5
Burns, James
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Davis, Henry A.
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Rubin, Brian
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Bettigole, Bruce
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Carroll, Brenden
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Cohen, Stephen
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The journal of investment compliance
NBER working paper series
140
IMF working papers
139
Working paper / National Bureau of Economic Research, Inc.
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108
Journal of banking & finance
97
IMF working paper
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IMF country report
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SpringerLink / Bücher
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Discussion paper / Centre for Economic Policy Research
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Springer eBook Collection
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Applied economics
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Revue d'économie financière : revue trimestrielle de l'Association Europe finances régulations
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Finance research letters
50
Intereconomics : review of European economic policy
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International review of economics & finance : IREF
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Emerging markets finance & trade : a journal of the Society for the Study of Emerging Markets
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Journal of Asian economics
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The review of financial studies
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The journal of finance : the journal of the American Finance Association
42
Savings and development : quarterly review
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Journal of financial regulation and compliance : an international journal
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The journal of financial market infrastructures
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The journal of futures markets
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Discussion papers / CEPR
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Journal of international financial markets, institutions & money
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Pacific-Basin finance journal
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World development : the multi-disciplinary international journal devoted to the study and promotion of world development
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International review of financial analysis
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ECONIS (ZBW)
108
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1
Practical tips for satisfying FINRA's "culture" concerns
Nathan, Daniel A.
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 8-14
Persistent link: https://www.econbiz.de/10011662040
Saved in:
2
Securities regulators' overlapping priorities provide guidance for examination preparation
Nathan, Daniel A.
;
Marshall, Elizabeth
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 15-18
Persistent link: https://www.econbiz.de/10011662048
Saved in:
3
SEC adopts new disclosure and recordkeeping requirements for investment advisers
Greene, Nathan
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 19-24
Persistent link: https://www.econbiz.de/10011662051
Saved in:
4
SEC adopts rules and forms to modernize reporting requirements for registered investment companies
Cohen, Stephen
;
Johnson, Megan
;
Brooks, Gary
;
Higgs, Brooke
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 25-42
Persistent link: https://www.econbiz.de/10011662066
Saved in:
5
The municipal advisor regulatory framework : where we are and where to next
Lanza, Ernesto
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 53-57
Persistent link: https://www.econbiz.de/10011662083
Saved in:
6
SEC requires hedge funds to prevent insider trading despite unsettled legal definition
Morgan, Nicolas
;
Zwickel, Art
;
Zaccaro, Thomas A.
; …
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 63-64
Persistent link: https://www.econbiz.de/10011662110
Saved in:
7
SEC charges private fund administrator with gatekeeping failures
Miller, Keith
;
Lybecker, Martin E.
;
Kanach, Jesse
; …
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 65-67
Persistent link: https://www.econbiz.de/10011662148
Saved in:
8
Are your customer accounts in order? : SEC announces sweep of broker-dealers and implementation of the customer protection rule initiative
Beck Mitchum, Melissa
;
Xiong, Bob
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 68-74
Persistent link: https://www.econbiz.de/10011662150
Saved in:
9
SEC fines non-US entities for unregistered cross-border brokerage and advisory activities
Burns, James
;
Saunders, Kimberly Beattie
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 75-77
Persistent link: https://www.econbiz.de/10011662162
Saved in:
10
An update on the EU securities financing transactions regulation
Yonge, William J. G.
- In:
The journal of investment compliance
18
(
2017
)
1
,
pp. 78-83
Persistent link: https://www.econbiz.de/10011662166
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